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Proxy Disclosure
A Look Behind the Enhanced Proxy Disclosure Rules
April 30, 2010
Laurie Smilan, a senior partner at Latham & Watkins and an adjunct Professor of Law at Georgetown University Law School, has published an insightful memo candidly examining the SEC's new proxy disclosure rules requiring disclosure about board leadership structure and qualifications, risk and risk… read more
SEC Encourages Retail Investor Proxy Participation
March 15, 2010
Recently, the SEC launched an initiative to educate investors about proxy voting and support greater investor participation in corporate and mutual fund elections. As part of this initiative, the Commission has: Amended the SEC’s proxy rules to clarify and provide additional flexibility when companies… read more
SEC Guidance on Disclosures on Director Qualifications
February 18, 2010
On January 20, 2010, the SEC issued nine new Compliance & Disclosure Interpretations ("C&DIs") clarifying aspects of the proxy disclosure enhancement rules adopted on December 16, 2009. These C&DIs provide guidance on the new disclosure requirements relating to director qualifications, compensation consultants, equity… read more
Board Leadership and Risk Oversight Disclosure Tips
January 11, 2010
Jeffrey Stein and Bill Baxley, partners at King & Spalding LLP, have drafted a post at the Harvard Law School Forum on Corporate Governance and Financial Regulation providing tips on drafting the new disclosures on board leadership and risk oversight mandated by… read more
SEC Clarifies Proxy Disclosure Changes for Investment Companies
December 29, 2009
Last week, the SEC issued additional guidance about the effective dates and transition for registered investment companies the Commission’s recently issued Proxy Disclosure Enhancements Release (Nos. 33-9089, 34-61175, IC-29092 [December 16, 2009]). These amendments to Schedule 14A and Forms N-1A, N-2, and N-3 change… read more